collection development tools and guidance · page 5 of 27 1.1.2 the collections development policy...
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Collection Development Tools
and Guidance
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© Crown copyright 2011
You may re-use this document (not including logos) free of charge in any format or medium,
under the terms of the Open Government Licence. To view this licence, visit:
http://www.nationalarchives.gov.uk/doc/open-government-licence/ ; or email:
Any enquiries regarding the content of this document should be sent to Archives Sector Development
This document/publication is also available at nationalarchives.gov.uk/archives
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Purpose
These tools and guidance have been developed by The National Archives to help organisations and groups
to:
Review and develop their collections
Identify gaps and risks;
Safeguard their collections;
Consider short and long term needs for preservation and access.
It encourages collection development to ensure that diverse aspects of modern life are represented within
archives. This in turn supports active collections of cultural and evidential value: across different localities;
different types of organisation and community; different themes, subjects and activity; and different types
and formats of information.
Using this toolkit will enable organisations and groups to:
Understand and assess the need for collections development in their area of interest
Produce a Collections Development policy
Follow the process of a collections strategy to deliver the policy
Identify and make use of the support that is available
It is aimed at both established and new archive collections and services. It may be useful to any
organisation keen to develop and safeguard their archives.
Introduction
Collections Development Policies for Archives
Libraries and museums are used to developing their collections to ensure that collecting relates to and
fulfils the organisation’s mission as effectively as possible. The collections development policy is now a
crucial tool in the management of collections in these fields. Archives are aware of the importance of their
mission to collect, to engage with local and specialist communities to ensure that the records of a diverse
range of activity are preserved for the future. Collecting, however this takes place, is the basis for archival
preservation and access.
This is an ideal time to consider applying such criteria to archives, as national developments set the scene
for a significant shift in archival collecting. The Action Plan which supports Archives for the 21st Century
states the ambition that: “Institutions have active and effective collection development policies; they
collaborate proactively to eliminate gaps in their collections, and document society effectively.” 1 The
1 The action plan in support of Archives for the 21
st Century can be downloaded from
http://www.nationalarchives.gov.uk/policy/aft21c/
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framework of collection strategies by The National Archives has emphasised areas of archival work and
highlighted the issues of collecting and coverage. 2
There is a growing audience and appetite for archival and cultural heritage collections. Online methods of
delivery are expanding access and user expectations. Today’s collections need to be identified, developed
and safeguarded for tomorrow’s communities.
These developments offer chances to identify new potential for collecting and to address gaps in coverage
which leave significant elements of our national and regional life unrecorded. Finally, the shift to digital
record-keeping demands an earlier and more active approach to acquisition than ever before.
This document includes these sections:
Section 1: Overall strategy
This section will help you to identify high level needs and tactics for development.
It includes a set of questions on your collections and overall approach.
Section 2: Collection Development Policies
This section will help you to review and develop your collections. It includes areas for development,
by geography, sector, theme and format, followed by preparation for development and moving
towards a policy.
Section 3: Plans and activities
This section will help you to decide on plans and activities to develop your collections. It includes a
set of questions on meeting challenges and options for action.
Section 4: Frequently asked questions (FAQs)
This section includes responses to questions which might arise in the process.
Section 5: Collections Development Policies and Strategies
This includes examples of existing policies and strategies to inform the process.
1 Overall Strategy
1.1 How is a collections development policy different?
1.1.1 Archives have for some years worked routinely within the framework of an established collecting
policy, often co-ordinated with other services to avoid potential conflicts and overlaps. A collections
development policy does not replace such a collecting policy, which remains a critical collections
management tool. Most collecting policies are permissive, not active. They define a collecting remit, rather
than identifying priorities and strategies for fulfilling that remit. The key difference for a collections
development policy is that it is pro-active and may be time-limited – a strategic five or ten year plan to
develop the way an archive service collects.
2 The National Archives, Collection Strategies http://www.nationalarchives.gov.uk/archives/collection-strategies.htm The framework
developed from the National Collections Strategy, originally launched in May 2009.
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1.1.2 The collections development policy operates within an existing context and draws out the practical
and strategic implications of the overall collecting policy statement. The collections policy explains what will
be collected; the collections development policy explains how collecting will be achieved and developed.
1.1.3 Collecting policies should be open to change and development, to reflect the evolving needs of
archives and the communities they serve and represent. They are not the main focus of this guidance
document.3 Any new or revised collecting policies must continue to take account of others’ policies, and
every effort should be made to avoid duplication.4
1.2 Assessing and shaping strategy
1.2.1 This section includes information and questions to help you put together an overview of your
collections, and find out where development is needed. You can work through the questions, making notes
where appropriate. This will support the process for building an overview of where collections development
should take place. Responses to these questions will help to focus on the wider issues and situations
which create the need for collections development and a strategy to deliver that development.
1.2.2 The first set of questions, ‘About the collections’ is for all collections, wherever these are held.
This includes established archive services and many different types of organisation or group.
The second set of questions, ‘Partnerships’ is for is for all collections, wherever these are held.
The third set of questions, ‘Storage and safe custody’ is for archives in many different types of
organisation or group. These questions are not aimed at established archive services, unless there are
known changes or risks to your service.
Work through the questions which are relevant to you. At each stage, make notes on your answers to the
questions. These notes will form the basis of your strategy and can be used to describe and shape your
approach. You can then proceed to Section 2 which looks at Collection Development in more detail.
3 For guidance on developing or altering a collecting policy, see The National Archives Archive Collecting Policy Statements:
checklist of suggested contents (2004). http://www.nationalarchives.gov.uk/archives/collecting_policies.htm
4 The National Archives Standard for Record Repositories (2004), section 3.1.
http://www.nationalarchives.gov.uk/archives/standards-framework.htm Repositories who have subscribed to the Standard are
expected to submit a copy of or online link to any new collecting policy to Archives Sector Development:
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1.2.3 Questions: About the collections These questions are aimed at all collections, wherever these are held.
Questions Supporting questions Notes Where to get more help
1 What has been collected?
1.a What types of records, information and other material does this include? 1.b What is the history of the collection?
How has it evolved?
Who or what does it document?
You may have already accumulated archives or have ‘inherited’ them from another organisation or group. You may have growing collections being created by your organisation or group. It is useful to assess what types of records, information and other information this includes. It will help inform next steps and future developments.
For more information on assessing what has been collected, please contact [email protected]
2 What is important, valuable or unique about this collection?
2.a Why does it need to be developed? 2.b Are there gaps in collecting in this area of interest?
Who or what is missing?
2.c What needs to be done about these gaps? 2.d What support do you need to develop your collection?
This is part of describing the value of archives: what or who they represent; what makes them special; what they mean to people; what they can tell us. What is missing? Gaps might include: People, activities, periods of time that are not represented in your collections. See the Collection Strategy section on The National Archives’ website: http://www.nationalarchives.gov.uk/archives/collection-strategies.htm
For an example of how archival value is defined, please see Surrey History Centre’s Appraisal Policy (particularly Section 2) http://www.surreycc.gov.uk/sccwebsite/sccwspages.nsf/LookupWebPagesByTITLE_RTF/Surrey+History+Centre+Archive+Appraisal+Policy?opendocument For more information on defining archival, historical and cultural value, please contact [email protected]
3 What else should be collected?
3.a What types of records, information and other material should this include?
Collections development for archives looks at building and using collections which reflect and serve their diverse user
See the Collection Strategy section on The National
Archives’ website:
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3.b Are there any people, aspects of your activity, community or organisation that should be represented in your collections? 3.c What is missing?
communities. This can be addressed by looking at gaps in collecting:
Who or what is missing?
Are there time periods missing?
Are there subjects or themes missing?
This is covered in detail at Section 2.
http://www.nationalarchives.gov.uk/archives/collection-
strategies.htm
The aims and principles may help you in defining what
else should be collected.
4 Who are the main users of the collection?
OR 4.a Who will be the main users of the collection?
This is an ideal point to consider bringing other people on board and gaining advocacy for your collections. Identify your users and potential users.
Who are they?
How will they use the archives?
How will they benefit?
You can find guidance on users and audience development on the All About Audiences website http://www.allaboutaudiences.com/resources/knowledgebank/audience-development/general
5 What are other archives in your area of interest or community collecting?
5.a What sectors will you cover? 5.b What themes will you cover? 5.c What locations will you cover? 5.d What formats will you cover? 5.e Is this material already being collected somewhere else? 5.f Do you need to contact anyone else to find out more?
For example, some organisations and groups may find that their collecting interests overlap. They may be in the same line of work or be based near each other. Discussions between the organisations involved are always a good idea. It is useful to discuss ideas and find out what it best for the collections. It may develop links with other groups in your area of interest. It may lead to working together now and in the future.
You can search the National Register of Archives to look for organisations that hold archival collections in your area of interest. You can search by organisation name (for example ‘Royal Observer Corps’, personal name, family name, or place name. The results list where these collections are held: http://www.nationalarchives.gov.uk/nra For literary manuscripts, you can search the Location
Register of 20th Century English Literary Manuscripts
http://www.reading.ac.uk/library/about-us/projects/lib-
location-register.aspx
For artists’ papers you can search the Artists’ Papers
Register http://www.apr.ac.uk/artists/home.htm
For Community Archives, you can search the
Community Archives and Heritage Group directory:
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http://www.communityarchives.org.uk/category_idtxt__
directory.aspx
Film Archive Forum member archives are listed here:
http://bufvc.ac.uk/faf/members.htm
You can even use online search engines to look for
particular types of archival collection in locations
across the UK.
1.2.4 Questions: Partnerships These questions are aimed at all collections, wherever these are held.
Questions Supporting questions Notes Where to get more help
6 Will a partnership be useful to safeguard and provide access to this collection?
6.a Which organisations might be suitable for possible partnerships?
These might be public, academic, or private sector organisations. They might share a common theme or interest with your organisation or group. They might be based in the same region, or a different region. They might be interested working together to preserve and provide access to archives. For example, the National Fairground Archive is held at the University of Sheffield with support from the Showmen's Guild of Great Britain and the Fairground Association of Great Britain. http://www.nfa.dept.shef.ac.uk/index1.html
The Archives for the 21st Century Action plan has some ideas on how to approach partnerships. http://www.nationalarchives.gov.uk/documents/archives-for-the-21st-century-in-action.pdf For more information on partnerships in the cultural heritage sector, contact [email protected]
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1.2.5 Questions: Storage and safe custody If you are an established archive service with collections management in place, you will probably have covered these in your work.
Questions Supporting questions Notes Where to get more help
7 Where will the collection be kept in the next 5 years?
7.a Will your organisation keep it? OR 7.b Do you plan to transfer it elsewhere? 7.c If your organisation will keep it, how will you plan for this?
If you plan to deposit elsewhere, get in touch with the organisation to discuss. If your collection will be transferred elsewhere, you will need to decide if ownership would be transferred, or whether this would be a loan.
If you need support with identifying a potential home for your collections, please contact [email protected] for further guidance.
8 Where is the collection now?
OR 8.a Where will it be created and kept? 8.b Is your organisation large or small? 8.c Are the collections all in one place, or in many places? 8.d Is there a network of collections? 8.e How are the collections structured or grouped?
Consider how the collection will be cared for in the long term.
Do you have secure premises available?
Do you have plans for long term preservation?
Archives need to be stored in secure, clean, dry premises and protected from light, dust and pollution. Storage premises need to be available for the long term. Plans need to be developed to support this.
9 Does action need to be taken to safeguard this material for the future?
9.a Is it safe and secure where it is? 9.b Are there any risks to the collection? 9.c What support is needed to safeguard the collection for the
Risks might include:
Fire
Flood
Damp
Theft
Damage
Poor environmental conditions
Guidance is available on The National Archives’ website. Environmental Management http://www.nationalarchives.gov.uk/documents/environmental-management.pdf Disaster planning http://www.nationalarchives.gov.uk/documents/disaster-planning-risk-management.pdf
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future? 9.d Where will that support come from? 9.e Who else should be involved? 9.f Are there any other people, groups or organisations who you might contact?
Poor handling
Inadequate storage and packaging Support might come from:
From your parent organisation or community
From partnership with an external archive
From partnership with another organisation (not an archive)
From external funding
From other sources
Protecting archives and manuscripts against disasters http://www.nationalarchives.gov.uk/documents/memo6.pdf The Standard for Record Repositories describes best practice including storage and environment http://www.nationalarchives.gov.uk/documents/standard2005.pdf For general advice on caring for archives, please see: http://www.nationalarchives.gov.uk/archives/caring_for_records.htm
From the notes made by working through these questions, you will be able to produce a draft document highlighting the wider issues, and possible courses of
action.
Proceed to section 2: Collection Development Policies
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2 Collection Development Policies
2.1 Why have a collections development policy?
2.1.1 A great deal of archive collecting is:
passive (accepting what is offered);
routine (accruals from existing depositors and parent bodies);
or reactive (in response to local changes, business closures, organisational mergers).
All these are valid and important approaches, which have allowed archives to ensure the survival of many
significant collections which document the changing nature and identity of communities.
2.1.2 Archive services have also taken forward collecting through active surveying and relationship building
with record creators. There are positive strengths in collecting material in this way; as it is directly relates to
a collecting policy statement, rather than being acquired passively out of a lack of direction or sense of
obligation. Passive acquisition does not support mapping out the future direction of collections development
or usually relate to current strategic priorities.
2.1.3 Over the past 25 years professional literature has increasingly considered the role for active collection
development – to consider the aims of the organisation as stated in its collecting policy and whether these
are being met by current collecting methods. Perhaps the best established of these ideas is the “Minnesota
method”, developed by the Minnesota Historical Society in relation to business records. The method seeks
to compare existing holdings to potential collecting and from there to direct future collecting.5 Such
approaches are known as documentation strategy.
Active documentation strategy has been a controversial idea, and such work is not well established in many
archive services. Professor of archives Terry Cook sees this as the logical outcome of a century of
development in archival practice:
[Archivists] “have evolved from being, allegedly impartial custodians of inherited records to
becoming intervening agents who set record-keeping standards and, most pointedly, who
select for archival preservation only a tiny portion of the entire universe of recorded
information. Archivists have become in this way very active builders of their own “houses of
memory”.6
2.1.4 The advent of digital records and likelihood that records of the 1980s onwards are more fragile and in
greater need of active preservation to ensure their survival means that collections development for archives
5 Society of American Archivists, Minnesota method definition
http://www.archivists.org/glossary/term_details.asp?DefinitionKey=2703
6 Archivaria 43 (1997), 46.
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is about more than theory. It is about the survival of evidence of aspects of modern life which may not be
sustainable or recoverable within the lifespan of current adults. Collecting which is mainly passive does not
entirely fulfil the cultural and evidential roles of archives.
2.2 What areas for development might be identified?
There are four main aspects of possible collecting which are frequently identified as under-supported by
passive collecting methods:
2.2.1 Geography
Where a repository seeks to cover a geographical area, it may be possible to identify patterns of collecting
which serve some parts better than others. This is often due to local sensibilities and physical location of
the archives service within its community. It can be addressed through awareness raising and dedicated
work in priority communities. This can be supported by use of digital surrogates to provide local services to
remote areas while retaining a centralised high-quality physical store.
2.2.2 Sector
Different types of records may be unevenly represented, and this is a issue for archivists to examine in
some detail. Are, for example, sectors like businesses well represented? Are small businesses approached
or does collecting rest on major industrial concerns?
Within sectors, are different types of organisation fully represented? Within collections from established
Christian denominations, if Methodists are routinely collected, why not Congregationalists? Are many faiths
represented or only some? Are aspects such as the cultural and creative arts collected? Are there other
types of organisations which are not well documented, and how can these areas be addressed? Are
organisational records effectively supported by personal records of those most closely involved in the
activity concerned?
2.2.3 Theme
Are all themes of significance to the area or the topic collected equally? Are there functions, tasks and
activities in the main area of collecting, whether geographical or subject based, which are not reflected in
archive holdings? Perhaps the most widely recognised gap in this respect is local Black, Asian and
Minority Ethnic representation in local archive service holdings. There are also questions about whether, for
example, medical research material is as consistently collected as patient records; or whether sports are as
well represented as youth groups in local archive collections.
2.2.4 Format
Not all repositories have facilities to hold certain specialist media, such as film or sound. At the time of
writing, few have an established means of taking in digital documents. Where there is no dedicated
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alternative repository (for example, a regional film archive which works in partnership with local record
offices), this material may be lost. In some cases if this material is collected by repositories without
specialist facilities or skills, it may not be properly stored or managed and limited or no access will be
provided.
2.2.5 Summary
Tackling gaps in coverage while ensuring effective management and preservation of collected material may
benefit from a collaborative or regional approach. The National Archives can support strategic discussion in
such cases.
It is best practice not to collect fragile specialist media without acceptable means of ensuring preservation
and to work with the appropriate specialist repository where available to ensure proper handling and
storage. When considering collecting in a new area, following the questions in section 3 is a good way of
ensuring all the critical issues are considered from the outset.
2.3 Preparation for a Collections Development Policy: surveying potential collecting areas
Developing collections to match the aims of the collecting policy means a coherent effort must be made to
identify areas of activity which should be covered by the archive collections. Analysis must look at social
change over time – to reflect both the activities of the current population (who may well wish to retain their
own records, or indeed still be using them actively) and to also address significant activities or groups from
the past which need to be reflected in your holdings. The development of surveying is likely to reflect the
different areas of collecting identified below.
2.3.1 Geography:
This exercise is most easily done in a geographical sense, when plotting the full extent of the communities
served is usually a straightforward exercise.
2.3.2 Sector
Identifying some sectoral aspects such as core local business activities and longstanding firms is a
reasonably straightforward exercise. Other sectors should include organisational, personal and family
papers, with sub-sectors such as literary, creative or governmental records. This applies not only to local
authority services but to archives seeking to document particular subject areas (examples might be
agriculture, political radicalism or women’s history). Records covering such subjects were produced by a
wide range of corporate bodies and individuals, but it may have proved easier to collect in only some of
these sectors. It may also be helpful to think in terms of seeing subjects through public, private and
voluntary sectors: ensuring that history can be seen and understood “from below” as well as from above.
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2.3.3 Theme
Thematic analysis is the most complex and problematic part of this work, as it may appear that collecting
could be extended very widely. When identifying possible groups or activities it is then important to combine
awareness of likely activities which occur nationally (religious participation; sports clubs; arts and music;
town or village institutes) with awareness of what makes the collecting area in question unique. Examples
of the unique include high profile individuals; aspects of the landscape; events and festivals and similar
unusual features which might be documented and which will be significantly different to others’ collecting
aspirations. While doing this functional mapping it may be useful to employ the International Standard for
Describing Functions (ISDF) to help identify and codify functions.7
There may equally be practical issues to address: a well organised and fully documented group will have
established procedures already; some groups may be easier to approach than others. Other groups may
be suspicious of ‘official’ collecting or indeed not produce records which are readily collectable. This does
not mean that they should be excluded from a scoping exercise, nor perhaps from any records creation
work you undertake but it will affect strategy in the immediate future. This is covered in more detail at
Creation of records below.
2.3.4 Format
There is a finite list of potential formats to collect. While specialised formats usually require specialised
storage and management, without certain types of record being collected, significant areas of modern life
risk being lost to posterity. Examples include various types of digital records (such as databases, websites,
digital sound and video or Computer Aided Design material); and three-dimensional records such as
models for theatrical sets or engineering designs which may be the most accurate record produced by such
activities.
2.3.5 Documentation Strategy
Elements of the methodology for documentation strategy may be of help in this analysis: looking at
functions and activities, rather than at records and creators, and then actively seeking to document the
identified priority functions and activities. Examples where this approach has been successful include major
construction and redevelopment projects around King’s Cross.8 The London Olympics of 2012 is also at the
centre of a major documentation strategy initiative.9 It is worth considering whether to prioritise
documentation strategy approach when communities are disappearing – an example would be mining
village life, where community change means that the social memory is at risk.
2.3.6 Assessing and Reviewing Significance
7 International Council on Archives, International Standard for Describing Functions (2007)
http://www.ica.org/sites/default/files/ISDF%20ENG.pdf
8 Camden Council website, Kings Cross Voices http://www.camden.gov.uk/ccm/content/leisure/local-history/kings-cross-voices.en
9 The Record: London 2012 and the Cultural Olympiad http://www.nationalarchives.gov.uk/2012/
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The Reviewing Significance framework, developed by Renaissance East Midlands is effective for reviewing
cultural heritage collections of all kinds. It is simple to use and provides effective tools for communicating
with management and parent organisations. It allows assessment to be made of significance, risks and
need – highlighting priorities for action by cleverly structured spreadsheets. It was developed from the
Australian Significance 2.0 by Renaissance East Midlands.
Templates for assessment, significance statement, management and usage and collections review
templates, along with the report with full background to the framework are available online.10
The methodology has been successfully used for archive collections, including London Screen Archives.
The principles are at the heart of their Collections Care and Management Toolkit which will be
published summer 2011. 11
2.4 Moving towards a Collections Development Policy
2.4.1 Collections Comparison
When you have made a survey or analysis in any or all of the areas above, now is the time to look at your
current collections.
How well do they match up to the intended collecting remit? Bear in mind that archives collected will never
be a perfect mirror of their communities, and that some degree of mismatch will happen. To identify
priorities, which are the greatest, most problematic gaps which can be identified? Making a list of priority
and desired collecting areas, involving relevant people, and where possible choosing ways to address
these priorities, will allow collections development to be worked into policy and business planning at the
right levels.
You may also be aware of specific collections which are not currently available but which would be a target
if circumstances changed. It may be helpful to your fundraising, to current and future colleagues to record
these as targets. Developing relationships with owners of such collections, through offering preservation
advice or even tours of the archive service itself, may encourage participation and opportunities to collect.
2.4.2 If a service is thinking of major changes to current practice, it would be helpful to talk to The National
Archives about new and potential areas of collecting. This will alert you to possible gaps, clashes and
overlaps in collecting, especially if they relate to sector and theme. These (except where they are heavily
concentrated in specific geographical areas) are less fully covered by existing collecting policies and are
likely to prove more problematic.
10
Renaissance East Midlands, Reviewing Significance
http://www.mla.gov.uk/what/programmes/renaissance/regions/east_midlands/info_for_sector/collections_buildings/collections_proje
cts
11 London Screen Archives, Current projects http://filmlondon.org.uk/networks/lsa/current_lsa_projects
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2.4.3 You may wish to participate in The National Archives-led framework of collection strategies
discussions if you are looking beyond geographical collecting areas, to ensure that thematic and sector
topics are fully covered at a national level and to be aware of developments in other services.12
2.4.4 There is also considerable scope for cross-domain work in capturing a rounded picture: museums
may be seeking to document the visual and physical aspects, or specialist libraries the secondary and
supporting resources. Co-ordinated effort is positive and can only strengthen archives’ own work in these
areas.
Section 3: Plans and activities
3.1 Options for Action
Collecting services’ situations are likely to vary significantly, so the following provides a set of potential
options. Working through the set of questions will help you to consider approaches to any major collecting
gaps and issues which affect your collecting.
3.1.1 Short term
Identify quick wins from the list of priorities. Are there areas which could be comparatively readily surveyed
– for example through postal questionnaires? Small businesses or organisations for example might
welcome an interest in their records and not require prolonged follow-up. Equally, looking to sectors which
are undergoing general premises moves, closure or downsizing may well identify groups of records which
are at risk of unmanaged disposal, where an approach might be very welcome. Building connections with
archive creators and custodians is an important part of the process; though will develop over time and may
not necessarily lead to deposit straight away.
3.1.2 Medium term
Identify medium-term strategic options for collecting. Examples might be improved documentation of an
industry or a locality where there are known to be records which have survived. A useful starting point is to
identify any regular archives users or contacts who could champion such a move. Getting a foothold in a
community is often the key to such work and can allow relationships to be built, perhaps through activities
like targeted open days or tours. It is vital to resource this effectively, both in terms of community relations
and in documentation and access for any newly collected materials. This might tie in with related work on
access and outreach.
12
The National Archives, Collection Strategies http://www.nationalarchives.gov.uk/archives/collection-strategies.htm
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3.1.3 Long term sustained work
Where potential or existing depositors are identifiable but records are vulnerable (either because of
organisational change or technological change), offering support in managing records and digital
preservation will ensure the survival of as complete an archive as possible. The Wellcome Library’s Digital
Curation Toolbox is a useful example of information aimed at helping depositors to share the preservation
process.13
Not all of these activities will be appropriate for all situations. Managing relationships with potential
depositors has to be a critical part of this work. To descend on a community looking to “take away its
records” can lead to a long-term breakdown of relationships, where a partnership approach to documenting
local life might have proved successful. Instead community-based projects with a clear remit to improve the
representation in collections can be successful. A strong example is the Bristol Black Archives Partnerships
which combines community work with a mission to encourage donations of material to archives and
museums, preserving the memory of the black community in Bristol.14 Initiatives to support community
groups in caring for their own records and archives in the short and medium term are also highly valuable.
West Yorkshire Archives Service is developing the Community Archive Accreditation Scheme and a
training programme to share best practice and increase community participation with both the archive
service and local heritage and history. 15
13
Wellcome Library: Digital Curation toolbox. FAQs at http://library.wellcome.ac.uk/node289.html See also the Bodleian and John
Rylands Libraries’ joint Paradigm project on curation of digital personal papers: http://www.paradigm.ac.uk/ and its successor,
futureArch http://www.ouls.ox.ac.uk/beam/projects/futurearch
14 Bristol Black Archives Partnership http://www.bristol.gov.uk/ccm/content/Leisure-Culture/records-and-archives/bristol-black-
archives-partnership.en
15 West Yorkshire Archive Service Community Archive Accreditation Scheme draft
http://www.nowthen.org/assets/files/mp3/CAA%20Scheme%20(2).pdf
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3.2.4 Resourcing Collections Development (a): funding for projects
Identify areas which can only be tackled through a major piece of work. This would identify communities which are perhaps marginalised or more challenging
to engage with, or where records may not survive or have existed in any quantity. This type of work may need to be project-based, but ongoing relationships
need to be considered and sustained if this is to become a long-term strategy.
3.2.5 Resourcing Collections Development (b): funding for purchases
Make the argument for funding, not only for project work as outlined above but also of potential purchases. Relatively few archive services now have a defined
purchase budget, which reduces their flexibility in cases where material becomes available at short notice. Really sizeable purchases can often be funded with
the assistance of grant awarding bodies, but important material under £500 is seen regularly on the market and falls outside most funders’ remits.
3.2 Creation of records
3.2.1 This is a much-debated and controversial means of developing collections – apparently going beyond the neutrality of the archivist’s role towards
becoming document creators. If you have identified significant activities or functions of collecting interest for which there are likely to be few or no records, it
may be the only effective way forward. It is compatible with successful activities already undertaken by many services, such as oral history projects, to
understand and document aspects of life which are not well captured in organisational and business records and where personal records may not exist.
Where records survive giving only one side of a contested history, an approach such as Revisiting Archive Collections allows you to capture differing views in
a structured way alongside conventional records and finding aids.16
These activities not only enrich collections but form the basis for attracting new audiences and working with harder to reach, sometimes vulnerable or
disappearing, communities.
16
Collections Trust Revisiting Archive Collections http://www.collectionslink.org.uk/index.cfm?ct=assets.assetDisplay/title/Revisiting%20Archive%20Collections%20Toolkit/assetId/298
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3.3 Plans and activities
This section will help you to develop your plans and activities that will support development of your collections.
3.3.1 Questions: Plans and activities
Questions Supporting questions Notes Where to get more help 10 Are there financial limitations
which affect the collection?
10.a What needs to be done about these financial limitations? 10.b What can be done to make the most effective of the resources you currently have? 10.c Can you approach your community or organisation for funds? 10.d Can you to apply for external funding?
Almost all archives are limited by finances. Lack of money can have a serious impact on how they are cared for and used. Financial limitations can affect: Physical control
Storage conditions
Security
Access to the collections Intellectual control
People costs
Cataloguing
Management and monitoring
Related documentation
Information on funding opportunities is available on The National Archives website: http://www.nationalarchives.gov.uk/information-management/our-services/grant-aid.htm For advice on external funding, please contact: [email protected]
11 Are there technical limitations which affect the collection?
11.a Do technical limitations affect the material you select for the collection? (For example, not collecting records that are in a format that you cannot look after?) 11.b What needs to be done about these technical limitations? 11.c Do any of these limitations place the collections at immediate risk? 11.d Does urgent action need to be taken now?
Technical limitations might include:
Understanding the collection
Understanding storage and handling requirements
Understanding requirements of:
Photographs
Moving image (film and video)
Sound (tape or disc)
Digital records (on removable media such as CD and DVD or on
For guidance on preservation of digital records, please see: http://www.nationalarchives.gov.uk/information-management/projects-and-work/digital-preservation-faqs.htm For guidance of photographs, please see: http://www.nationalarchives.gov.uk/documents/archivesconservation_photo.pdf For guidance on Film and Sound, please see:
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11.e Do you need specialist advice?
computers)
Archives and Records Association: http://www.archives.org.uk/resourc
es/E&BPWG_%20F&S%20Guida
nce.pdf
British Library guidance on film
preservation:
http://www.bl.uk/about/policies/end
angeredarch/pdf/08guidelines_film
12 Does the collection include
restricted or confidential material?
12.a What are the restrictions? 12.b What is confidential? 12.c What needs to be done about the restricted or confidential material? 12.d Do you need to contact the people or organisations involved? 12.e Can you release part of the information? 12.f Do need further information or guidance?
Not all archives are suitable for
immediate access. If they contain
personal information about living
people or information that is
confidential for some other reason,
you may need to restrict access to
them.
Guidance is available online on
handling personal information
covered by the Data Protection Act;
see the code of practice at
nationalarchives.gov.uk/documents/in
formation-management/dp-code-of-
practice.pdf
Information covered by the Freedom
of Information Act:
http://www.nationalarchives.gov.uk/inf
ormation-
management/legislation/section-
46.htm
Environmental information covered by
the Environmental Information
If in doubt, it is better not to make the
restricted or confidential material
available until you have had a chance
to consider it further and consult
others.
If you are a public sector organisation,
you may find that the archives are
covered by the Freedom of
Information Act or the Environmental
Information Regulations, both of
which provide a right of access for
members of the public. If so, you can
refuse access only if one of the
exemptions in the Act and the
Regulations apply. Guidance on these
exemptions is available online on the
Information Commissioner’s website:
www.ico.gov.uk. If you need advice
on how any of this legislation applies
to your archives, please contact
further guidance.
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Regulations:http://www.nationalarchiv
es.gov.uk/information-
management/legislation/environmenta
l-information-regulations.htm
If in doubt, it is better not to make the
restricted or confidential material
available until you have more
information on these aspects.
13 For records being created now, do you need support with records management or collections management?
13.a What support is needed for records management? 13.b What support is needed for collections management?
Records management is the control of creation, use, storage, retrieval, selection and destruction of records through time. Records are evidence of activities and transaction, providing information about what happened, what was decided, and how to do things. All organisations need to keep some records. Collections management uses technical and professional skills to manage heritage collections to deliver best value to owners and the public. It is a combined approach for collections and can include archives, objects, and library material. Collections management works across museums, archives, libraries and all kinds of cultural heritage organisation.
Sources of further guidance are available. The National Archives, Guide 1:
What is records management?
(2010)
http://www.nationalarchives.gov.uk
/documents/rm-code-guide1.pdf
Collections Trust, Collections Management web pages http://www.collectionstrust.org.uk/index.cfm/collection-management/what-is-it/ For specific help, please contact: [email protected]
14 Where will the collection be kept permanently?
14.a Will your organisation keep it? OR
If you plan to deposit elsewhere, get in touch with the organisation to discuss.
If you need support with identifying a potential home for your collections, please contact
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14.b Do you plan to transfer it elsewhere? 14.c If your organisation will keep it, how will you plan for this?
If your collection will be transferred elsewhere, you will need to decide if ownership would be transferred, or whether this would be a loan.
[email protected] for further guidance.
15 How will users and researchers access the collection?
15.a Are there premises where the collections will be made available? 15.b Will there be sufficient supervision at these premises to keep the collection safe? 15.c Are there plans to develop this in the future? 15.d Are there plans for online access?
You will need a clean, tidy area to provide access to the collections. You will need to advise users on careful handling and to supervise them whilst they use the archives.
Examples of ‘reading room rules’
can be found online which may
help you. The National Archives
welcome leaflet has a simple list of
what can and cannot be taken into
access areas:
http://www.nationalarchives.gov.uk
/documents/tna-welcome-
leaflet.pdf
If you are thinking of online access, ‘Deciding to digitise’ is available on the Collections Link website. It has ideas on what to think about before going ahead with digitisation. http://www.collectionslink.org.uk/index.cfm?ct=assets.assetDisplay/title/Deciding%20to%20Digitise/assetId/1
16 What needs to happen? 16.a Are there any other issues affecting the collection? 16.b What else can be done to meet the challenges?
Include any further details of:
what needs to be done now
what needs to be done in the longer term
people and organisations
Refer back to Options for Action, short medium and long term.
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to contact. 17 Overall, what are the risks of
not having a strategy?
17.a What might happen if action is not taken?
These risks might include:
Business needs
Legal requirements / compliance
Loss of information assets
Loss of corporate memory
Loss of collective memory
Lack of access
Archives which only tell one side of the story.
See the Collection Strategy
section on The National Archives’
website:
http://www.nationalarchives.gov.uk
/archives/collection-strategies.htm
This may help you in deciding
what will be at risk or missing if no
action is taken.
If you’re archive is at immediate risk, you can contact: [email protected] for further guidance.
3.4 Developing your Policy and Strategy for action
The table below sets out details of how to develop a detailed statement of the current situation, interested
parties and appropriate courses of action. This can form the basis of your Collections Development Policy
and your strategy for implementing the policy.
3.4.1 Stating the case
This table includes a list of possible sections for your Collections Development Policy and
action plan. The examples at section 5 will also be useful to look at when writing your policy
and action plan.
What sections might be included What the sections might cover
Introduction Why your existing or developing collections are
significant and what archival, cultural or historical
value they have; why they will benefit from
development
Purpose Aims; objectives; principles; contribution to aims or
mission statement of organisation
Current collecting Categories of collecting; scope and strength of
collections; focus of collections; types of material
Collections context History of collection; audiences; wider context
Methods of collecting Sources of collections; how collecting happens; how
selection happens; donations; purchase
Priorities for collecting Reviewing current collecting; mapping collections,
weaknesses in collections, under-represented
groups, archives and records at risk
Development Future collection; how development will happen;
selection; disposition
Access Onsite access; online access; inclusion; existing
audiences; new audiences
Sustainability Ownership of the collection; safekeeping now and in
the future; partnership and collaboration; managing;
using and sharing best practice; action plan; review
period
3.5 Next steps in the process
The table below sets out possible next steps in the process.
3.5.1 Making it happen
Consult creators, users and potential
users
To develop your strategy, you should discuss
with as many people as possible who have a
role in creating and using these collections.
You should also discuss with any existing
archives or cultural heritage organisations
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that already collect this type of material.
This will give you as wide a view as possible
in shaping your proposal.
Review Assemble all the information that you have
already gathered in shaping your strategy.
Review it to check for anything that might be
missing.
Share Once all of the available information has
been assembled and reviewed, contact
Archives Sector Development at The
National Archives.
We can review the information provided and
provide advice on next steps.
Consider advice Following the advice, take the appropriate
next steps as necessary contacting the
relevant organisations where needed. It will
also be useful to revisit the information you
have already assembled and make any
updates or additions that are necessary.
Implement strategy
This stage involves the practical steps to
make the strategy happen. When the
strategy has been drafted, it can be
implemented by addressing the needs,
issues and risks set out in your detailed
strategy documentation.
If appropriate, you may provide regular
updates on progress and any issues as they
arise. Archives Sector Development
provide advice and useful contacts for
collaboration and possible sources of funding
as required.
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4. Frequently asked questions (FAQs)
Collections development needs resource to be effective. Inevitably, this poses challenges for services, and
partly explains the slow adoption of collection development principles by the archive sector. For effective
and relevant collections development, these objections can and must be overcome.
4.1 I haven’t got time for this!
Some repositories accession quantities of marginal material – can you cut down on unnecessary
acquisitions?
Can you secure dedicated project funding? This type of work can be very significant in improving your
service. Grant awarders like the Heritage Lottery Fund are very interested in supporting certain types of
community work.
4.2 I haven’t got space for this!
Reappraisal and de-accessioning are potentially a valid part of collections development – sharpening
existing collections which have been allowed to accrue without sufficient reference to collecting aims.
Decisions to reappraise collections must be made in full recognition of archives’ mission to preserve
unique, irreplaceable material. De-accessioning is a major and often controversial move, not to be taken
lightly.
4.3 Isn’t this peripheral to core work?
If an archive service is not fully representing its community or its identified goals, it is more vulnerable to
challenges to service provision, budget reductions and loss of connection with users and depositors. The
growth of the community archives movement provides a strong indication that potential archive users do
not feel existing services fulfil all that they look for. Collections development policies can be a useful means
of building stronger links with stakeholders.
In a future where digital records will become the norm, liaison with potential depositors will need to happen
at a much earlier stage, and to be more intensive. A Collections Development Policy should be the first step
towards identifying those you will need to work with to ensure your service remains vibrant and
representative.
5. Collections Development Policies and Strategies
5.1 The following are examples of existing policies and strategies which cover areas highlighted in this
guidance.
Bexley Local Studies and Archive Centre, Collection Development Plan, 2008-2012
http://www.bexley.gov.uk/index.aspx?articleid=10655
British Library, Sound Archive Collection Development Policy
http://www.bl.uk/reshelp/bldept/soundarch/soundcdp/development.html
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Gloucestershire Archives, Collections Development Policy (2010)
http://www.gloucestershire.gov.uk/index.cfm?articleid=17210
London Metropolitan University: the Women’s Library, Collection Development Policy
http://www.londonmet.ac.uk/thewomenslibrary/aboutthecollections/collectiondevelopment/home.cfm
National Library of Wales, Collection Development Policy
http://www.llgc.org.uk/fileadmin/documents/pdf/2009_Collection_Policy.pdf
National Maritime Museum,
Collection Development Policy: Collecting Priorities and Action Points
http://www.nmm.ac.uk/explore/collections/development/development-policy/collecting-priorities-and-
action-points are of particular interest within the wider policy framework.
Nottinghamshire Archives, Acquisition Strategy (2006):
http://www.nottinghamshire.gov.uk/acquisitionsstrategy.pdf
Renaissance East Midlands, The heart of all we do: a collections development strategy for East
Midlands’ museums 2009-2019
http://www.mla.gov.uk/what/programmes/renaissance/regions/east_midlands/info_for_sector/collecti
ons_buildings/~/media/East_Midlands/Files/2009/REM_Eval_short_doc